Cambridge Investment Research, Inc. broker Todd Bailey (CRD# 6092793) is accused of stock losses. He has been registered with Cambridge Investment Research, Inc. in Cary, North Carolina, since 2013. Todd Bailey Customer Complaints He has been the subject of one … Continue reading
In May 2023, former clients of Oppenheimer & Co., Inc. won an award in a FINRA arbitration for $6.9 million in compensatory damages plus interest until the date of payment of the award as well as $6.9 million in punitive … Continue reading
Stifel, Nicolaus & Company, Incorporated and former broker Joseph Crespi (CRD# 1110919) were ordered to pay more than $3 million in fines and restitution to harmed investors who suffered investment losses; due to predatory sales practices. He was registered with … Continue reading
Were you the victim of Purshe Kaplan Sterling Investments broker William Horak (CRD# 1462594), who is accused of GWG Holdings Inc. L Bonds investment losses? He has been registered with Purshe Kaplan Sterling Investments in Tallahassee, Florida, since 2014 and … Continue reading
Erez Law is currently investigating IFP Securities, LLC broker Elio Chiarelli Jr. (CRD# 5824081) regarding GWG Holdings Inc. investments losses. He has been registered with IFP Securities, LLC in Urbandale, Iowa, from 2019 to 203. Previously, he was registered with … Continue reading
There are options for clients of Ameriprise Financial Services, LLC broker Ted Boutis (CRD# 2951760) who lose money related to unsuitable investment recommendations. He has been registered with Ameriprise Financial Services, LLC in Mineola, New York, since 1997. Ted Boutis Customer … Continue reading
There are options for clients of Aegis Capital Corp. broker M B Schreiber (CRD# 1032600) who suffered investment losses. He was registered with Aegis Capital Corp. in Red Bank, New Jersey, from 2016 to 2022, when he was terminated regarding … Continue reading
Erez Law is currently investigating Arque Capital, Ltd. broker Michael Ning (CRD# 1229733) regarding related to GWG Holdings Inc. investment losses. He has been registered with Arque Capital, Ltd. in Scottsdale, Arizona, since 2005. Michael Ning Customer Complaints He has … Continue reading
In March 2023, FINRA censured and fined Hornor Townsend & Kent $180,000 for falling short in supervising a registered representative who recommended Future Income Payments, which turned out to be a Ponzi scheme. Future Income Payments was a structured cash … Continue reading
Former UBS Financial Services Inc. broker Clifford Virgin III (CRD# 1878876) faces a customer complaint related to misappropriation. He has been registered with RBC Capital Markets, LLC in Florham Park, New Jersey, since 2021. Previously, he was registered with UBS … Continue reading